Altegris is driven by a culture of deep research and innovation. With clients' goals foremost, we identify superior investment capabilities and deliver effective, sustainable portfolio solutions in the form of alternative mutual funds, closed-end funds and private funds. Through our broker-dealer affiliate, our suite of products is distributed through intermediary channels, including wirehouses, independent broker-dealers and registered investment advisors, and directly to high-net-worth individuals and family offices. Altegris’ advisory affiliate manages over $2.40 billion in assets. We pride ourselves on our people and their commitment to our clients and culture.
Altegris is seeking an investment management compliance professional who will continue the firm’s commitment to excellence in ethics and compliance and assist Altegris in navigating the rapidly evolving regulatory environment. The successful candidate will be responsible for oversight and supervision of the firm’s investment advisory, broker-dealer and futures compliance programs, and will serve as the CCO of Altegris’ investment advisory, broker-dealer and futures regulated entities. The position is supported by a talented and experienced team of compliance professionals, and will report directly to senior management.
- Demonstrated experience with compliance and regulatory matters affecting the operations, governance, and distribution of registered investment companies, as well as hedge funds, commodity funds or other alternative-investment vehicles, specifically:
- Investment Advisers Act of 1940
- Investment Company Act of 1940
- Securities Exchange Act of 1934
- Securities Act of 1933 and Regulation D thereunder
- SEC, CFTC, FINRA, NFA, ERISA and IRS laws and regulations relevant in the context of alternative investments and their management and distribution
- CRD, IARD, BASIC, Broker-Check and other NRSRO systems
- Knowledge of complex derivatives and experience with ISDA documentation a plus
- Working knowledge of alternative investment funds, their function and operations, and related regulations
- Minimum 5 years’ experience and demonstrated ability to function effectively and simultaneously as the CCO of an SEC-registered investment adviser, SEC-registered and FINRA member broker-dealer, and CFTC-registered and NFA member commodity pool operator, commodity trading advisor and/or introducing broker. Strong preference given to candidates with current or past relevant experience as a CCO or analogous supervisory position with the above types of regulated entities
- Experience working successfully in an entrepreneurial environment where resources and budget must be used efficiently
- Experience managing a team of talented and motivated compliance professionals
- A solid understanding of leading industry practices in compliance; access to perspectives from well-respected organizations
- Preference given to candidates who can demonstrate positive engagement in the industry and with regulators; direct interface with regulators; and leadership experience in the handling of and response to regulatory audits and examinations
- Ability to anticipate, monitor and manage compliance risks resulting from various investment and distribution business activities
- Ability to both build and maintain a compliance program
- Series 3, 7, 24, 63 (or 66) licenses required (or ability to re-instate or obtain such licenses within an accelerated time frame)
This is a full-time position. Altegris offers a competitive salary and benefits, including: paid time-off, holiday pay, health insurance, dental insurance, 401K and company match. Altegris prides itself on its people. We are looking for entrepreneurial, motivated team members and are committed to providing an environment where our employees can excel. We invite you to contact us at email@example.com.